For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. While a decision is on appeal, the sanction is not actively enforced against the firm or individual. The NAC may affirm, dismiss, modify, or reverse any finding, or remand for further proceedings. The NAC may affirm, modify, reverse, increase, or reduce any sanction or impose any other fitting sanction.
Unless FINRA's Board of Governors decides to review the NAC's appellate decision, the NAC's decision represents FINRA's final action. A firm or individual can appeal FINRA's decision to the Securities and Exchange Commission.
| Date of Decision | Proceeding No. | Title | Type |
|---|---|---|---|
| August 18, 2010 | 20090173549 | In the Matter of the Membership Continuance Application of Applicant Firm A | Membership Decision |
| July 30, 2010 | 2007010306901 | FCS Securities and Dale Kleinser | Disciplinary Decision |
| July 26, 2010 | 2005000835801 | Harry Friedman | Disciplinary Decision |
| May 10, 2010 | 2005003188901 | Richard G. Cody | Disciplinary Decision |
| May 03, 2010 | 2006006890801 | CMG Institutional Trading LLC and Shawn D. Baldwin | Disciplinary Decision |
| April 23, 2010 | E8A2004072203 | Jonathan M. Skiba | Disciplinary Decision |
| March 03, 2010 | CLGO50021 | John Patrick Leighton and Kenneth D. Pasternak | Disciplinary Decision |
| February 26, 2010 | 2005001729501 | Gerald J. Kesner | Disciplinary Decision |
| February 25, 2010 | 2006003738501 | Mission Securities Corporation and Craig M. Biddick | Disciplinary Decision |
| January 01, 2010 | SD10001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2010 | SD10002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2010 | SD10005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2010 | SD10004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2010 | SD10006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2010 | SD10003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 18, 2009 | 2006006192901 | Denis William Kraemer, Jr. | Disciplinary Decision |
| December 16, 2009 | E072005017201 | John B. Busacca, III | Disciplinary Decision |
| December 14, 2009 | 2006004377701 | Paul Bryan Zenke | Disciplinary Decision |
| October 06, 2009 | 2006006705601 | John M. Saad | Disciplinary Decision |
| October 02, 2009 | 20060049953-01 | Joseph Ricupero | Disciplinary Decision |
| August 25, 2009 | 2006005565401 | Michael L. Vines | Disciplinary Decision |
| August 21, 2009 | 2005001919501 | Jennifer Jordan | Disciplinary Decision |
| August 07, 2009 | E102004083705 | Lisa Ann Tomiko Nouchi | Disciplinary Decision |
| July 30, 2009 | E102004083704 | Marc Winters | Disciplinary Decision |
| July 30, 2009 | E9B2003033701 | Keith Howard Medeck | Disciplinary Decision |